Compliance Associate at Huatai Securities (USA), Inc · New York, NY · Joined
HI
Compliance Associate
Huatai Securities (USA), Inc · New York, NY · Just now · 0 applicants
NewOn-siteFull-timeMiddle
Pay
Pay not listed
Workplace
On-site
Job type
Full-time
Level
Middle
Team: Compliance · Source: jobright · Posted by joined-scrapper
About the role
Huatai Securities seeks a Compliance Associate to support its US compliance program through surveillance, regulatory advice, and development of compliance controls. The role requires Mandarin fluency, 3-5 years of securities compliance experience, and knowledge of SEC, FINRA, CFTC, and NFA regulations.
What you’ll do
Conducting reviews and surveillance
Advising on regulatory and business processes
Helping develop compliance controls and tools
Independently performing surveillance reviews and resolving exceptions
Gathering and analyzing information to develop long-term solutions
Recognizing and escalating divergent priorities
What you’ll need
Bachelor's degree minimum
Mandarin Chinese language fluency
3-5 years of progressive compliance experience at a securities-regulated entity
Solid understanding of SEC, FINRA, CFTC, and NFA regulations
Proficient knowledge of equity/fixed income trading, futures, operations/clearing, capital markets, new issues, and private placements
Series 7 or obtain within 6 months of hire
Original job description
Huatai Securities (USA), Inc. is a China-focused broker-dealer providing institutional securities and investment banking services. The Compliance Associate supports the Firm’s compliance program by conducting reviews and surveillance, advising on regulatory and business processes, and helping develop compliance controls and tools.Minimum requirement of a…